Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
KWOK, PUI KA DOROTHY
Chinese Name of Relevant Individual
郭貝嘉
HKMA Registration Number
AF4087
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Apr 2025 - 26 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Apr 2025 - 26 May 2026
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
13 Apr 2023 - 14 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
13 Apr 2023 - 14 Apr 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
21 Oct 2021 - 15 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
21 Oct 2021 - 15 Dec 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
08 May 2019 - 14 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
08 May 2019 - 14 Sep 2021
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Sep 2018 - 12 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
FUBON BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Sep 2018 - 12 Dec 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 May 2018 - 11 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHIYU BANKING CORPORATION LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 May 2018 - 11 Jul 2018
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 1: dealing in securities
Effective Period
09 Dec 2011 - 01 Feb 2012
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
TAISHIN INTERNATIONAL BANK CO., LTD
Regulated Activity
Type 4: advising on securities
Effective Period
09 Dec 2011 - 01 Feb 2012
Is an Executive Officer? (Yes / No)
No
Records: 1-14 of 14
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
KWOK, PUI KA DOROTHY
:
Chinese Name of Relevant Individual
郭貝嘉
:
HKMA Registration Number
AF4087
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AF4087
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
25 Apr 2025 - 26 May 2026
No
AF4087
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
25 Apr 2025 - 26 May 2026
No
AF4087
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
13 Apr 2023 - 14 Apr 2025
No
AF4087
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
13 Apr 2023 - 14 Apr 2025
No
AF4087
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 1: dealing in securities
21 Oct 2021 - 15 Dec 2022
No
AF4087
STANDARD CHARTERED BANK (HONG KONG) LIMITED
Type 4: advising on securities
21 Oct 2021 - 15 Dec 2022
No
AF4087
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
08 May 2019 - 14 Sep 2021
No
AF4087
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
08 May 2019 - 14 Sep 2021
No
AF4087
FUBON BANK (HONG KONG) LIMITED
Type 1: dealing in securities
04 Sep 2018 - 12 Dec 2018
No
AF4087
FUBON BANK (HONG KONG) LIMITED
Type 4: advising on securities
04 Sep 2018 - 12 Dec 2018
No
AF4087
CHIYU BANKING CORPORATION LIMITED
Type 1: dealing in securities
23 May 2018 - 11 Jul 2018
No
AF4087
CHIYU BANKING CORPORATION LIMITED
Type 4: advising on securities
23 May 2018 - 11 Jul 2018
No
AF4087
TAISHIN INTERNATIONAL BANK CO., LTD
Type 1: dealing in securities
09 Dec 2011 - 01 Feb 2012
No
AF4087
TAISHIN INTERNATIONAL BANK CO., LTD
Type 4: advising on securities
09 Dec 2011 - 01 Feb 2012
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.